寻找他们不该去的地方:中国打击尽职调查人员

As Meng suggested in arecent post,中国国家主席习近平的反腐败运动令人钦佩。188bet app近18.2万党员在他上任的前18个月受到谴责,席总统的计划似乎比他的前任更雄心勃勃和持久。虽然,the core of corruption surrounding China's senior leadership remains largely贱民.即使中国打击低层官员的滥用行为,数十亿美元的“可疑”资金仍存在于该国的外国账户中。"princelings,"protected by the fact that,as Matthew notes,论中国的腐败级别高的领袖遗骸“绝对禁忌。”毕竟,对这个国家的精英们的不当行为给予过多的关注,将有可能击败领导层的首要关注点:保持支撑中国政治稳定的合法性。And this leads to what it is that positive accounts of President Xi's battle againstcorruption经常被忽视:中国高层领导人同时愿意打击anticorruptionefforts whenever those efforts threaten to step on the wrong political toes.

这种现象最好的例子之一就是中国政府最近对尽职调查公司的打击。Continue reading渐次

普京的“权力垂直”:布兰查德和施莱弗重访

In 2000,布兰查德Andrei Shleiferwrote a seminal比较联邦制对俄罗斯和中国经济发展的影响。Blanchard和Shleifer的目标是解决为什么联邦制的难题——以及,in particular,inter-jurisdictional competition–fostered economic growth in China but hampered it in Russia.Simplifying somewhat,他们的关键结论是,俄罗斯缺乏政治集权是罪魁祸首。With no strong national government to act as a disciplinarian,Russian localities were prone to a particular form of corruption–capture by local special interests–and localities competed for rents instead of competing for firms by making improvements we associate with open governments and economies.在孟最近发表的关于中国政治分权的文章中,188bet app她赞同布兰查德&shleifer的分析,并建议不要让中国的地区和地方政府从中心获得更多的自治权。隐含地,她的职位是对中国在2014年采取的行动保持谨慎,使中国看起来像2000年的俄罗斯。

But what 188bet appabout Russia?布兰查德和施莱弗写论文14年后,political centralization is a reality in Russia — in terms of the strength of the ruling party,俄罗斯现在比2000年更像中国。if Blanchard & Shleifer's analysis were correct,俄罗斯当地的腐败现象应该得到缓解,and competition between Russia's different regions should now be growth-promoting rather than growth-retarding.  Alas,俄罗斯过去14年的经验表明,这一点还没有实现。

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人才选拔对促进政府廉洁的重要性:印度的一些证据

Much of the focus in combating corruption in government bureaucracies focuses on creating the right incentives for public servants after they've assumed their positions.  The goal is usually to create a system of rewards and punishments – and perhaps also a professional culture – that incentivizes honest behavior and deters wrongdoing.  Creating those incentives is obviously crucial,但同样重要的是,不要忽视选拔过程——首先选择谁将成为公务员或公职人员。毕竟,帮助一个基本上诚实的人抵制诱惑可能比阻止一个复仇的机会主义者滥用她的地位容易得多。选择错误的人从事公共服务会造成一个恶性循环:一个以腐败著称的政府机构将倾向于吸引对滥用其职位更感兴趣的个人,188bet app而一个以廉洁著称的188bet app机构更有可能吸引有兴趣为公共利益服务的个人。

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腐败风险评估:对私营部门的一些观察分析

As the pressure to curb corruption has grown,对“腐败风险评估”的需求也同样如此,即预测公共机构或私营企业可能采取何种形式的腐败,以及如果不消除腐败,可以采取什么措施来减少腐败。在私营部门,风险评估受到了国家法律的推动,这些法律减少了对企业存在风险的腐败违规行为的188bet app处罚。管理计划到位。在公共部门的风险评估中,有助于确保公民的钱不会被偷走,并提供一个机构领导,当腐败丑闻至少破坏了对不称职或复仇指控的部分辩护时,他有足够的不幸来掌舵。

公共部门的评估有几种:审查单个组织面临的风险的评估,say阿尔巴尼亚税务局188bet app,其他评估公共资助项目风险的机构,for example a刚果民主共和国退耕还林工程,还有一些人认为,在一个公众参与度很高的行业中存在整体风险,例如watereducation.  While public sector assessments are almost always readily available,private sector assessments are not,可能是出于专有或竞争的原因。私营部门的风险评估有几十万(千?)。建议公司如何进行风险评估的大部头书——通常是由那些希望评估公司面临的腐败风险并收取费用的人写的。

在谷歌搜索“腐败风险评估”时,点击率达到30万。一个用于“评估腐败风险”4800万!我不会假装读过报告的代表性样本或“如何”手册,但到目前为止,我读到的很多书都令人失望。Continue reading渐次

The Irrelevance of an FCPA Compliance Defense

The U.S.《反海外腐败法》(FCPA)将公司员工的行为暴露于刑事(以及民事)责任之中,根据美国标准原则法律公司对其雇员的行为负责,如果这些行为是在雇佣过程中为雇主的利益而实施的。这一原则,in the FCPA context and elsewhere,具有熟悉的优缺点。The most straightforward advantage is that this "vicarious liability" gives corporations an incentive to establish robust compliance programs and to monitor their employees.主要缺点是,because no compliance system is perfect,corporations might find themselves faced with substantial liability for acts committed by "rogue employees".此外,正因为如此,corporations might over-invest in anticorruption compliance,或者可能放弃某些交易或投资,因为担心FCPA暴露。188bet app这可能对社会有害,不仅仅是公司。

在《反海外腐败法》的背景下,a range of critics have argued that the FCPA should be amended to add a "compliance defense," so that a corporate defendant would not face criminal liability for the acts of its employees,只要公司保持适当的制度以促进遵守《反海外腐败法》的限制。(The United Kingdom's 2011 Bribery Act has such a defense.) Advocates of an FCPA compliance defense have suggested a range of possible forms the defense might take;critics have pushed back,辩称辩方的存在将破坏反公司腐败的斗争。我对合规性辩护的看法有些不同:我认为增加了一项《反海外腐败法》的合规性辩护,在当前条件下,不会对《反海外腐败法》的执法行动产生重大影响。合规辩护可能既不好也不坏,但(大部分)无关紧要。这就是为什么:

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中国的反腐倡廉真的是对反腐倡导者的打击吗?

在上一篇文章中,我注意到政治权力下放,以及由此产生的跨司法管辖权竞争,可能抑制当地的腐败并促进经济增长。中国共产党的反腐运动激发了我的热情。自总统以来习近平took power,已经有一股反腐败的浪潮对强大的military政府官员.非常公开的清洗Zhou Yongkang,退休官员described作为“中国最有权势的人”,这似乎表明了习近平履行了对“老虎”和“苍蝇”零容忍的承诺。

然而,我的乐观情绪被近期新闻又有两名反腐败活动家在中国受审。两个活动家New Citizens Movement-丁家喜李伟呼吁政府官员披露他们的资产,a cause that echoed CCP's official aspiration (看见 herehere) only made the arrests more perplexing.

This seems like a glaring contradiction.  Why does the Chinese leadership continue to trumpet on 188bet appabout anticorruption and simultaneously arrest anticorruption activists?

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《反海外腐败法》意见程序发布被破坏的原因及修复方法

A couple months ago there was a rare sighting in the world of the Foreign Corrupt Practices Act (FCPA): a Department of Justice (DOJ)意见程序发布.If you have no clue what an opinion procedure release is,don't feel bad – if you aren't an FCPA specialist,很有可能你从未听说过。15岁以下。78DD-1(E),司法部需要建立一个程序,就预期行为是否符合《反海外腐败法》的要求向公司提供咨询意见。根据本条款颁布的法规确立了“意见程序发布”—无约束力,public guidance opinions that provide companies with an indication of how the DOJ would treat a particular action.发行量相当少,然而。自1993年以来,仅发行了38张。只有四已发布自2012以来。

可以公平地说,发表意见的程序并没有达到国会最初的目的。国会大概认识到,由于《反海外腐败法》的规定不明确,违规后果可能很严重,企业需要一种确保其预期行为在法律范围内的方法。These concerns are even more pressing in 2014 as they were when the FCPA was passed in 1977,鉴于司法部和SECattempting to expand the FCPA's reach通过创造性的法律论证,and multinational companies expanding into emerging markets that present new cultural and legal challenges.Companies constantly complain 188bet appabout legal uncertainty under the FCPA,yet the statutory mechanism designed to alleviate this problem is hardly used.Why?Continue reading渐次